[Federal Register Volume 64, Number 177 (Tuesday, September 14, 1999)]
[Notices]
[Pages 49837-49838]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-23827]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF THE TREASURY
[Treasury Directive Number 32-12]
Restrictions on Lobbying for Federal Grants, Cooperative
Agreements, Loans, and Commitments To Insure or Guarantee a Loan
September 1, 1999.
1. Purpose. This directive establishes policy, procedures and
responsibilities for implementing Office of Management and Budget (OMB)
guidance on restrictions on lobbying for Federal grants, cooperative
agreements, loans, and commitments to insure or guarantee a loan.
2. Scope. This directive applies to all bureaus, Departmental
Offices (DO), the Office of Inspector General (IG) and the Treasury
Inspector General for Tax Administration.
3. Policy. It is the policy of the Department of the Treasury that
persons, including those who represent corporations, partnerships, and
other entities, who request or receive a covered Federal grant,
cooperative agreement, loan or commitment to insure or guarantee a loan
(see paragraph 6.a., below) must file the certification and disclosure
forms on lobbying activities required by law.
4. Background.
a. 31 U.S.C. 1352 prohibits recipients of Federal contracts,
grants, loans, or cooperative agreements from using appropriated funds
to influence, or attempt to influence, Government employees, and
members of Congress or their staffs. The law specifies penalities for
b. Treasury has codified OMB's guidance on lobbying restrictions at
31 CFR part 21.
c. Treasury procedures on restrictions on lobbying for contracts
are covered in Department of the Treasury Acquisition Regulation,
subpart 1003.8, ``Limitation on the Payment of Funds to Influence
Federal Transactions.''
5. Definitions.
a. Cooperative Agreement. A legal instrument between a bureau or
office and a person to work together for a common purpose. Substantial
involvement is expected between the bureau or office and the person.
b. Direct Loan. This occurs when a bureau or office disburses funds
to a borrower and enters into a contract with the borrower for
repayment.
c. Grant. An award of financial assistance in the form of money, or
property in lieu of money, by a bureau or office, or a direct
appropriation made by law to any person.
d. Guaranteed or Insured Loans. This occurs when a third party
lender makes a direct loan to a borrower; the bureau or office agrees
to repay the lender all or a portion of the loan in case the borrower
defaults.
e. Person. An individual, corporation, company, association,
authority, firm, partnership, society, and State or local government,
regardless of whether such entity is operated for profit or not for
profit.
6. Procedures.
a. The certification and disclosure requirements in 31 U.S.C. 1352
apply to:
(1) A Federal grant or cooperative agreement from Treasury in
excess of $100,000.
(2) A Federal loan or commitment to insure or guarantee a loan from
Treasury in excess of $150,000.
b. A person who requests or receives a covered Federal grant,
cooperative agreement, or loan from Treasury must certify (see 31 CFR
part 21 appendix A that the person has not made and will not make any
payment prohibited by 31 U.S.C. 1352. Such a person must file SF LLL,
``Disclosure of Lobbying Activities'' (see 31 CFR part 21 appendix B)
if that person has made or has agreed to make any payment from
nonappropriated funds which would be prohibited under 31 U.S.C. 1352 if
paid for with appropriated funds.
c. A person who requests or receives a covered commitment providing
for the United States to insure or guarantee a loan must certify (see
31 CFR part 21 appendix A) as to whether the person has made or agreed
to make any payment prohibited by 31 U.S.C. 1352. Such a person must
file SF LLL, ``Disclosure of Lobbying Activities'' (see 31 CFR part 21
appendix B) if that person has made or has agreed to make any payment
to influence or attempt to influence a Government officer or employee
in connection with that loan insurance or guarantee.
d. The appropriate certification and, if required, disclosure form
shall be filed with each submission that initiates agency consideration
for, and upon award of, a grant, cooperative agreement, loan, or
commitment to insure or guarantee a loan described above.
Certifications and disclosure forms shall be filed with the appropriate
bureau or office.
7. Responsibilities.
a. The Deputy Assistant Secretary (Administration), Heads of
Bureaus, the Inspector General and the Treasury Inspector General for
Tax Administration as it relates to their respective bureaus and
offices, shall ensure that each person who requests or receives a
Federal grant, cooperative agreement, loan, or commitment to insure or
guarantee a loan, is required to file the required certification and,
if required, disclosure forms with the appropriate bureau or office.
b. Treasury's Director of Procurement will issue procedures to
bureaus concerning lobbying for contracts.
8. Authorities.
a. 31 U.S.C. 1352, ``Limitation on Use of Appropriated Funds to
Influence Certain Federal Contracting and Financial Transactions.''
b. OMB Interim Final Rule, 55 FR 6736 (1990).
[[Page 49838]]
c. 31 CFR part 21, ``New Restrictions on Lobbying.''
9. References.
a. Department of the Treasury Acquisition Regulation, subpart
1003.8, ``Limitations on the Payment of Funds to Influence Federal
Transactions.''
10. Supply of Forms. Copies of the ``Certification Regarding
Lobbying'' and OMB Standard Form LLL, ``Disclosure of Lobbying
Activities'' are available from the Office of Treasury's Deputy Chief
Financial Officer.
11. Cancellation. Treasury Directive 32-12, ``Restrictions on
Lobbying for Treasury Grants, Loans and Cooperative Agreements'', dated
January 6, 1992, is superseded.
12. Office of Primary Interest. Office of Accounting and Internal
Control, Office of the Deputy Chief Financial Officer, Office of the
Assistant Secretary for Management and Chief Financial Officer.
Nancy Killefer,
Assistant Secretary for Management and Chief Financial Officer.
[FR Doc. 99-23827 Filed 9-13-99; 8:45 am]
BILLING CODE 4810-25-P
